CS
Christian A. Sulmasy
CAPITAL ANALYSTS
Amherst, MA 01002
Some features on this profile are disabled
CRD#: 5669572
CS
Professional summary
Christian Arthur Sulmasy, AIF®, who also goes by Chris Sulmasy, is a registered financial advisor currently at CAPITAL ANALYSTS located in Amherst, Massachusetts and LINCOLN INVESTMENT located in Amherst, Massachusetts.
Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Christian has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Sulmasy
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
THE NATHAN AGENCIES, INC. POSITION: This entity is an S-Corp. I am the 100% owner, and I serve as the President and Secretary on the BOD. This entity is not publicly traded, and has been set up for tax purposes. The entity also is set up as the GA for insurance sales for life insurance (sold away from Lincoln). NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2017 ADDRESS: 20 Gatehouse Road, Amherst MA 01004, United States DESCRIPTION: I am the President and Secretary of this entity. My duties are sales related, and administrative. LIVICTUS FINANCIAL SERVICES (FORMERLY THE NATHAN AGENCIES) POSITION: owner of The Nathan Agencies. Also OSJ, Financial Advisor, and 1099 contractor. NATURE: Fixed Annuity, Life, Health, Disability and LTC sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2017 ADDRESS: 20 Gatehouse Road, Amherst MA 01004, United States DESCRIPTION: Fixed Annuity, Life, Health, Disability and LTC sales made through business relationships held as GA (outside of Lincoln).
CRS (Client Relationship Summary) - RIA
Click below to view Christian Arthur Sulmasy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 18, 2014 - Present
CAPITAL ANALYSTS
Office #1: 20 Gatehouse Rd, Amherst, MA 01002RIA
CRD#: 162200
Amherst, MA
Current
June 24, 2009 - Present
LINCOLN INVESTMENT
Office #1: 20 Gatehouse Road, Amherst, MA 01002RIA
BD
CRD#: 519
Amherst, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/3/2017)
RR
Arkansas(11/11/2024)
RR
California(1/3/2017)
RR
Colorado(11/11/2024)
RR
Connecticut(10/8/2010)
RR
Delaware(1/3/2017)
RR
Florida(10/7/2013)
RR
Georgia(1/3/2017)
RR
Kentucky(1/4/2021)
RR
Maine(11/16/2022)
RR
Maryland(1/2/2018)
RR
Massachusetts(7/15/2009)
IAR
Massachusetts(3/18/2014)
RR
New Hampshire(2/11/2014)
RR
New York(2/8/2010)
RR
North Carolina(1/3/2017)
RR
Pennsylvania(1/3/2017)
RR
Puerto Rico(1/3/2017)
RR
Rhode Island(9/11/2009)
RR
South Carolina(1/3/2017)
RR
Tennessee(1/3/2017)
RR
Utah(1/3/2023)
RR
Vermont(6/10/2013)
RR
Virginia(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
